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Our Regulatory Arrangements

Our new outcomes-focused regulatory approach went live on 6 October 2011. The new approach is risk-based, concentrated less upon compliance with prescriptive rules and more explicitly focused upon the delivery of specific positive outcomes for clients.

The new regulatory regime is underpinned by the Handbook which sets out the regulatory responsibilities of all individuals and firms regulated by us. The previous Rules and Guidance Notes have been replaced with Codes which, wherever possible, are comprised of flexible, higher-level principles rather than detailed prescriptive requirements. Non-mandatory Guidance accompanies many of the Codes. The seven Frameworks set out our operating parameters.

The Client Charter identifies the Outcomes which clients of our regulated community have the right to expect and the options available to them if their expectations are not met.

For details of which organisations have been issued with a licence to become a Licensed Body (Alternative Business Structure), please refer to the relevant register available below.

 

 

 

 

CLC Handbook

  View the Handbook in full as a single document.

An explanation of the minor revisions (February 2013) to the Handbook can be dowloaded here.

The Handbook can be downloaded as a single PDF document, via the link above. Alternatively, each code can be viewed individually:

  Introduction: Outcomes-Focused Regulation

Regulatory Arrangements - Universal

  Code of Conduct

  Accounts Code & Guidance

  Anti-Money Laundering and Combating Terrorist Financing Code & Guidance

  Complaints Code & Guidance

  Conflicts of Interest Code & Guidance

  Continuing Professional Development Code

  Dealing with Non-Authorised Persons (third parties) Code & Guidance

  Disclosure of Profits & Advantages Code

  Equality Code & Guidance

  Estimates & Terms of Engagement Code & Guidance

  Management and Supervision Arrangements Code & Guidance

  Notification Code & Guidance

  Professional Indemnity Insurance Code & Guidance

  Transaction Files Code & Guidance
  Undertakings Code & Guidance

Regulatory Arrangements - Specific

  Acting as Insurance Intermediaries Code & Guidance

  Acting for Lenders and Mortgage Fraud Code & Guidance

  Licensed Body (ABS) Code

  Litigation & Advocacy Code Supplementary Code

  Recognised Body Code

Other

  Compensation Fund Operating Framework

  Continuing Professional Development Framework

  Professional Indemnity Insurance Operating Framework

  Regulation and Enforcement Policy

  Glossary of Terms

Quick-start Guides (QSG)

  Outcomes-Focused Regulation QSG

  Outcomes and Overriding Principles QSG

  Handbook QSG

  Code of Conduct QSG

  Licensed Body (ABS) Licensing Framework QSG

  Accounts Code QSG

  Complaints Code QSG

  Equality Code QSG

Whistleblowing

  Whistleblowing Policy

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Frameworks

  View the seven Frameworks in full as a single document

An explanation of the minor revisions (February 2013) to the Frameworks can be dowloaded here.

The seven Frameworks can be downloaded within a single PDF document, via the link above. Alternatively, each Framework can be viewed individually:

  Compensation Fund Operating Framework

  Continuing Professional Development Framework

  Licensed Body (ABS) Licensing Framework

  Licensed Conveyancer Licensing Framework

  Professional Indemnity Insurance Operating Framework

  Recognised Body Recognition Framework

  Student Training Framework

Licensed Body (ABS) Register

  Licensed Body (ABS) Register: Details of Licensed Body (ABS) organisations

 

Client Charter

  The CLC's Client Charter: The outcomes which clients of the regulated community have the right to expect, and the options available to them if they do not receive these outcomes.

Appointment Regulations

  The CLC's Regulations For The Appointment And Service Of Council Members 2011

Fees

  The CLC's Fees Framework 2011

  The CLC's Fees Framework 2012

  Licensed entity annual fees payable - calculation guidance

 

Adjudication Panel

  The CLC's Adjudication Panel (No 2) Rules 2011

  The CLC's Approved Regulator (Disciplinary Procedure) Rules 2011

  The CLC's Licensing Authority (Disciplinary Procedure) Rules 2011

Discipline and Appeals Committee

  The CLC's Discipline and Appeals Committee (Procedure) Rules 2011

  The CLC's Discipline and Appeals Committee Rules 2009

  The CLC's Guidance for the Appointment and Service of Legal Advisors

General Regulatory Chamber - ABS Appeals

Visit http://www.justice.gov.uk/guidance/courts-and-tribunals/tribunals/alternative-business-structures/index.htm

 

Anti-Money Laundering

  The CLC's Guidance for the Prevention of Money Laundering and Combating Terrorist Financing

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